Katherine A. Heavey-seastone

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CRD#: 4841947

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Katherine Ann Heavey-seastone, CFP®, who also goes by Kate Heavey-seastone, Kate Seastone, Katherine Ann Seastone, Katherine Seastone, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2004. Katherine had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kate Heavey-Seastone | Kate Seastone | Katherine Ann Seastone | Katherine Seastone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)KPV1, LLC DBA Simplicit Financial; Non-Investment Related; Location: Phoenix, AZ; Title: President, Financial Coach; Start Date: 05/2020 - Present; Hours/month: 125 hours; Description/Duties: Financial Goal Planning, Financial Coaching and Life Insurance. Provide Clients a comprehensive goals-based plan for one or more financial goals modules, depending on their situation and needs. Clients may also request financial consulting services on specified topics. Through a network of various specialized professionals, advise individuals and business owners on tax reduction strategies and improving cash flow through methods including, but not limited to, cost segregation, cost remediation, and outsourced bookkeeping. Advise prospects, clients, and other advisors on fixed life and annuity products that are suitable and appropriate to achieve various financial and estate planning goals. Participation in the sale of non-securities related financial specialist services. 2)Name: CPA Team Based Model; Non-Investment Related; Location: Phoenix, AZ; Title: Consultant; Start Date: 12/2018 - Present; Hours/month: 30 hours; Description/Duties: Work with CPAs to deliver more value to their clients by networking with other financial professionals. 3) Desert Botanical Garden Foundation, Investment related; Location: Phoenix, AZ, Title: Botanical Garden, Board Member; Start Date 03/2020; Hours/month: approximately 0.5 hours per month with 0.5 hours devoted during securities trading hours; Description/Duties: Monitors the investments of the DBG Foundation to ensure adherence to the rules set up for the foundation and votes on annual distribution amount to the Garden 4) PAK1, LLC; Non-Investment Related; 4320 E Highlands Dr., Paradise Valley, AZ 85253; Residential Real Estate/Short Term Rental, Control of home maintenance & ensuring renters needs are met. Estimated time is less than 1 hour per month during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

CRD#: 46173

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ONYX BRIDGE WEALTH GROUP LLC

CORNERSTONE WEALTH MANAGEMENT | THE GILMAN FINANCIAL GROUP | ONYX BRIDGE WEALTH GROUP LLC | JMC EMPIRE, LLC

CRD#: 306097 / SEC#: 801-118022

RIA

Registered Investment Advisory firm - (2/6/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/13/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/3/2004

General Securities Representative Examination

Current Firm

ONYX BRIDGE WEALTH GROUP LLC

CORNERSTONE WEALTH MANAGEMENT | THE GILMAN FINANCIAL GROUP | ONYX BRIDGE WEALTH GROUP LLC | JMC EMPIRE, LLC

CRD#: 306097 / SEC#: 801-118022

RIA

Registered Investment Advisory firm - (2/6/2020 Approved)

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Contact information

Main Address

120 White Plains Road Suite 115, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 909-6699

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2A APP 1 - WRAP BROCHURE (9/16/2025)

Regulatory assets under management

Total Number of Accounts	3,852
AUM (Assets Under Management)	$ 1,000,901,317

Red Flags

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Katherine A. Heavey-seastone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ONYX BRIDGE WEALTH GROUP LLC

ELITE INVESTMENT TEAM LLC

SIMPLICIT FINANCIAL

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

ONYX BRIDGE WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2005

Series 63

Date: 8/13/2004

Series 7

Date: 9/3/2004

Current Firm

ONYX BRIDGE WEALTH GROUP LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONYX BRIDGE WEALTH GROUP LLC

TRUST BUT VERIFY

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